John P. Francis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Peter Francis was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2000 - February 29, 2024
FRANCIS CAPITAL MANAGEMENT, LLC
July 11, 1996 - February 17, 2006
STROME SECURITIES, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANCIS CAPITAL MANAGEMENT, LLC
CRD#: 130165 / SEC#: 801-79772
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 18,872,000 |
Red Flags
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